SEC Form 4 · accession 0001127602-17-027098
THERMO FISHER SCIENTIFIC INC. · TMO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter E Hornstra
Officer — VP & Chief Accounting Officer
Period of report
Sep 5, 2017
Accepted (ET)
Sep 6, 2017 · 6:14 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000097745
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 5, 2017 | M | 1,475 | $73.24 | A | 19,751 | D | |
| Common Stock | Sep 5, 2017 | M | 1,912 | $124.28 | A | 21,663 | D | |
| Common Stock | Sep 5, 2017 | S | 3,894 | $185.18 | D | 17,769 | D | |
| Common Stock | holding | — | — | — | 534 | I | By 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $73.24 | Sep 5, 2017 | M | 1,475 | D | — | Feb 26, 2020 | Common Stock | 1,475 | 0 | D |
| Stock Option (Right to Buy)F3 | $124.28 | Sep 5, 2017 | M | 1,912 | D | — | Feb 26, 2021 | Common Stock | 1,912 | 638 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 2, 2017.
- F2The option vested in four equal installments on February 26, 2014, 2015, 2016, and 2017.
- F3The option is exercisable in four equal annual installments. The first, second and third installments became exercisable on February 26, 2015, 2016, and 2017, and the last installment becomes exercisable on February 26, 2018.